Patrick Burns

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  Three Lesson from FA’s $1.5 Mil FINRA Win Over Merrill

  By Janet Levaux, AdvisorOne  |  June 20, 2011

• Is the Protocol Long for This World?

  By Melanie Waddell, AdvisorOne  |  May 1, 2011

  Some Wall Street firms belonging to the Protocol for Broker Recruiting, commonly referred to as “the Protocol,” are responsible for a troubling trend.

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  When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns

  By James J. Green, AdvisorOne  |  April 27, 2011

  A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.

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  When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns

  By James J. Green, AdvisorOne  |  April 27, 2011

  A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.

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  When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns

  By James J. Green, AdvisorOne  |  April 27, 2011

  A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.

• Broker/Dealer News

  By Staff Writer  |  May 1, 2010

  Fidelity's clearing arm for broker/dealers, National Financial, announced several new online service technology tools that National Financial says will allow brokers and advisors to spend...

• BAIS Moves Reps to Merrill

  By James J. Green, AdvisorOne  |  January 1, 2010

  In a surprise move, Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch on October 23, 2009, and then requested...

• Why Doesn't Bank of America Join?

  By Melanie Waddell, AdvisorOne  |  July 8, 2009

  Still hasn't accepted broker protocol

• B/D News & Products

  By Staff Writer  |  May 1, 2009

  The U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...

• Is Mary What the SEC Needs?

  By Melanie Waddell, AdvisorOne  |  February 1, 2009

  At press time on January 15, the Senate Banking Committee was holding Mary Schapiro's confirmation hearing to be the next head of the Securities and...